Were Kaitlin Haggerty’s COF share sales made under a Rule 10b5-1 plan?

Yes. The filing states the transactions were executed under a trading plan entered into on February 6, 2026, in accordance with Rule 10b5‑1. Such plans allow pre‑scheduled trades, helping separate routine diversification from discretionary timing decisions.

Capital One (NYSE: COF) HR chief sells 1,426 shares under 10b5-1 plan

Filing Impact

(Moderate)

Filing Sentiment

(Negative)

Form Type

Rhea-AI Filing Summary

CAPITAL ONE FINANCIAL CORP Chief Human Resources Officer Kaitlin Haggerty reported open‑market sales of 1,426 shares of common stock. She sold 1,307 shares at $183.93 per share on May 12, 2026, and 119 shares at $182.59 per share on May 13, 2026. These transactions were executed under a pre‑arranged Rule 10b5‑1 trading plan entered into on February 6, 2026. Following the sales, she directly holds 49,181 shares of Capital One common stock.

Insider Trade Summary 10b5-1

Net Seller: 1,426 shares ($262,125)

Net Sell 2 txns

Insider Haggerty Kaitlin

Role Chief Human Resources Officer

Sold 1,426 shs ($262K)

Type	Security	Shares	Price	Value
Sale	Common Stock	119	$182.59	$22K
Sale	Common Stock	1,307	$183.93	$240K

Holdings After Transaction: Common Stock — 49,181 shares (Direct, null)

Footnotes (1)

This transaction was executed pursuant to a trading plan entered into by the reporting person on February 6, 2026, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction.

Key Figures

Shares sold May 12, 2026: 1,307 shares Price May 12 sale: $183.93/share Shares sold May 13, 2026: 119 shares +4 more

7 metrics

Shares sold May 12, 2026 1,307 shares Open-market sale at $183.93 per share

Price May 12 sale $183.93/share Capital One common stock, open-market sale

Shares sold May 13, 2026 119 shares Open-market sale at $182.59 per share

Price May 13 sale $182.59/share Capital One common stock, open-market sale

Total shares sold 1,426 shares Net-sell across two open-market transactions

Shares held after transactions 49,181 shares Direct ownership of Capital One common stock

10b5-1 plan date February 6, 2026 Date trading plan was entered into

Key Terms

Rule 10b5-1, open-market sale, Associate Stock Purchase Plan, Form 4

4 terms

Rule 10b5-1 regulatory

"in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934"

Rule 10b5-1 is a regulation that allows company insiders to buy or sell their shares at predetermined times, even if they have access to non-public information. It acts like setting a schedule in advance for transactions, helping prevent accusations of unfair trading. This rule provides a way for insiders to plan trades transparently, giving investors confidence that these transactions are not based on hidden information.

open-market sale financial

"transaction_action": "open-market sale""

An open-market sale is when a shareholder sells existing shares directly on a public exchange to any willing buyer, rather than through a private deal. Think of it like putting goods on a busy market stall where price is set by supply and demand; for investors it matters because such sales increase available supply, can put short-term downward pressure on the stock price, and signal changes in liquidity or investor confidence.

Associate Stock Purchase Plan financial

"Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan"

Form 4 regulatory

"insider FILING DATA (Form 4)"

Form 4 is a official document that company insiders, such as executives or major shareholders, file with regulators whenever they buy or sell company shares. It provides transparency about how those with inside knowledge are trading, helping investors see if insiders are confident in the company's prospects or may be selling for personal reasons. This information can influence investor decisions by revealing insiders' perspectives on the company's value.

Form 4 Insider Transactions: What Each Field Means →

05/14/2026 - 04:39 PM

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Haggerty Kaitlin

(Last)

(First)

(Middle)

1680 CAPITAL ONE DRIVE

(Street)

MCLEAN

VIRGINIA

22102

(City)

(State)

(Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
CAPITAL ONE FINANCIAL CORP [ COF ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
	Chief Human Resources Officer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
05/12/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock⁽¹⁾	05/12/2026		S		1,307	D	$183.93	49,300⁽²⁾	D
Common Stock⁽¹⁾	05/13/2026		S		119	D	$182.59	49,181	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)

Explanation of Responses:

1. This transaction was executed pursuant to a trading plan entered into by the reporting person on February 6, 2026, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

2. Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction.

Remarks:

	/s/ Katherine DeLuca (POA on file)	05/14/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What insider transaction did COF executive Kaitlin Haggerty report?

Kaitlin Haggerty reported selling 1,426 shares of Capital One common stock in open‑market transactions. The sales occurred over two days and were disclosed in a Form 4 filing as part of routine insider reporting requirements for company officers.

On what dates did Kaitlin Haggerty sell Capital One (COF) shares?

She sold Capital One shares on May 12, 2026, and May 13, 2026. The filing shows separate open‑market transactions on each date, providing transparency on timing and pricing for these insider sales by the company’s Chief Human Resources Officer.

How many COF shares did Kaitlin Haggerty sell and at what prices?

She sold a total of 1,426 Capital One common shares. This included 1,307 shares at $183.93 per share on May 12, 2026, and 119 shares at $182.59 per share on May 13, 2026, as open‑market transactions.

How many Capital One (COF) shares does Kaitlin Haggerty hold after the sales?

After these transactions, Kaitlin Haggerty directly holds 49,181 shares of Capital One common stock. This post‑transaction balance is reported in the Form 4 and reflects her remaining ownership following the disclosed open‑market sales.

Did the Form 4 mention Capital One’s Associate Stock Purchase Plan?

Yes. A footnote explains her reported holdings include shares acquired through Capital One’s Associate Stock Purchase Plan since the last reported transaction. This indicates part of her ownership comes from employee purchase program participation in addition to open‑market activity.